James Michael Schmertmann

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2008 → 01/2026
  Lpl Financial Llc
  Moline, IL
• 01/2026 → Present
  Raymond James Financial Services Inc.
  Moline, IL
• 01/2026 → Present
  Raymond James Financial Services Advisors Inc.
  Moline, IL

Previous Registrations

• 2008-02-07 → 2026-01-21
  Lpl Financial Llc
  Moline, IL
  Moline, IL
  Fort Mill, SC
  Moline, IL
• 2000-02-28 → 2008-02-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Davenport, IA
  Davenport, IA

Other Businesses

(1)Name of Business: Address: 23050 255th Avenue, LeClaire, IA, 52753, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/12/2024 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is our vacation home that we also rent out using a management company (2)Name of Business: Our Lady of the River Catholic Church Address: 28200 226th Street Place, LeClaire, IA, 52753, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 07/01/2020 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Work with other committee members to review the church's financial statements and provide general guidance to the priest on church matters. No investment advice is given (3)Name of Business: SBS Financial, Inc Address: 615 35th Ave, Moline, IL, 61265-6107, United States Activity Type: Support Company - Owner Position/Title: Officer - Vice President Investment Related: No Start Date: 02/08/2008 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: This our DBA for our financial advisory practice.

Exams

• S66 Uniform Combined State Law Examination
  2000-02-01
• S63 Uniform Securities Agent State Law Examination
  1989-11-13

Other Names

• Jim Schmertmann